0001196395-11-000086.txt : 20111103 0001196395-11-000086.hdr.sgml : 20111103 20111103145301 ACCESSION NUMBER: 0001196395-11-000086 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111101 FILED AS OF DATE: 20111103 DATE AS OF CHANGE: 20111103 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SERVOTRONICS INC /DE/ CENTRAL INDEX KEY: 0000089140 STANDARD INDUSTRIAL CLASSIFICATION: CUTLERY, HANDTOOLS & GENERAL HARDWARE [3420] IRS NUMBER: 160837866 STATE OF INCORPORATION: DE FISCAL YEAR END: 0101 BUSINESS ADDRESS: STREET 1: 1110 MAPLE ST CITY: ELMA STATE: NY ZIP: 14059 BUSINESS PHONE: 7166335990 MAIL ADDRESS: STREET 1: P O BOX 300 STREET 2: ELMA STATE: NY ZIP: 14059-0300 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TRBOVICH NICHOLAS D DR CENTRAL INDEX KEY: 0001221372 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-07109 FILM NUMBER: 111177424 MAIL ADDRESS: STREET 1: 1110 MAPLE STREET STREET 2: P.O. BOX 300 CITY: ELMA STATE: NY ZIP: 14059 4 1 edgar.xml PRIMARY DOCUMENT X0304 4 2011-11-01 0000089140 SERVOTRONICS INC /DE/ SVT 0001221372 TRBOVICH NICHOLAS D DR 1110 MAPLE STREET, P.O. BOX 300 ELMA NY 14059-0300 1 1 1 0 Chairman and CEO Common Stock 2011-11-01 4 M 0 50000 2.045 A 369061 D Common Stock 2011-11-01 4 F 0 6000 8.26 D 363061 D Common Stock 86335.5 I By ESOT Options (Right to Buy) 2.045 2011-11-01 4 M 0 50000 0 D 2013-04-10 Common Stock 50000 0 D Options (Right to Buy) 4.70 2015-12-29 Common Stock 25000 25000 D 2,122 shares were distributed to the Reporting Person from his account under the Company's Employee Stock Ownership Trust (the "ESOT") since the reporting person's last Section 16 report. In connection with the exercise of certain stock options, the Reporting Person elected to have the Company withhold shares to satisfy the Company's tax withholding obligation as permitted under the Company's 2001 Long-Term Stock Incentive Plan. As of the date hereof, includes 45,085.79 shares allocated to the reporting person's account under the ESOT as well as shares allocated to the ESOT accounts of Nicholas Trbovich, Jr., Michael Trbovich and Kenneth Trbovich, children of the reporting person, that the reporting person is required to report pursuant to Rule 16a-8(b)(2). The reporting person disclaims beneficial interest in the 41,249.71 shares allocated to his children's ESOT accounts. All of the options are currently exercisable. Nicholas D. Trbovich 2011-11-03